VIVE

Viveve Medical, Inc. VIVE

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Sander Gerber 0 258064 0 0 258064 2.38 % 04/02/2022
Hudson Bay Capital Management LP 0 258064 0 0 258064 2.38 % 04/02/2022
Ryan M. Lane Delaware 0 1029411 0 0 1029411 4.99 % 18/01/2022
Empery Asset Management, LP Delaware 0 1029411 0 0 1029411 4.99 % 18/01/2022
Martin D. Hoe Delaware 0 1029411 0 0 1029411 4.99 % 18/01/2022
Alyeska Investment Group, L.P. Delaware 0 163000 0 0 163000 0.2 % 16/02/2021
Alyeska Fund GP, LLC Delaware 0 163000 0 0 163000 0.2 % 16/02/2021
Anand Parekh United States of America 0 163000 0 0 163000 0.2 % 16/02/2021
Sander Gerber United States 0 240989 0 0 240989 9.99 % 10/02/2021
Hudson Bay Capital Management LP State of Delaware 0 240989 0 0 240989 9.99 % 10/02/2021
Empery Asset Management, LP United States 0 354411 0 0 354411 9.96 % 19/01/2021
Martin D. Hoe United States 0 354411 0 0 354411 9.96 % 19/01/2021
Ryan M. Lane United States 0 354411 0 0 354411 9.96 % 19/01/2021
Lincoln Park Capital Fund, LLC Illinois 0 701000 0 0 701000 9.99 % 15/01/2021
Jonathan I. Cope United States 0 701000 0 0 701000 9.99 % 15/01/2021
Alex Noah Investors, Inc. Illinois 0 701000 0 0 701000 9.99 % 15/01/2021
Joshua B. Scheinfeld United States 0 701000 0 0 701000 9.99 % 15/01/2021
Rockledge Capital Corporation Texas 0 701000 0 0 701000 9.99 % 15/01/2021
Lincoln Park Capital, LLC Illinois 0 701000 0 0 701000 9.99 % 15/01/2021
S Delaware, United States of America 0 0 0 0 0 0 % 14/02/2020
S Delaware, United States of America 0 0 0 0 0 0 % 14/02/2020
S Delaware, United States of America 0 0 0 0 0 0 % 14/02/2020
Alyeska Fund 2 GP, LLC Delaware 0 244811 0 244811 244811 6.1 % 14/02/2020
Alyeska Investment Group, L.P. Delaware 0 244811 0 244811 244811 6.1 % 14/02/2020
Anand Parekh Delaware 0 244811 0 244811 244811 6.1 % 14/02/2020
Alyeska Fund GP, LLC Delaware 0 244811 0 244811 244811 6.1 % 14/02/2020
Alyeska Fund 3 GP, LLC Delaware 0 244811 0 244811 244811 6.1 % 14/02/2020
Nathan D. Hukill Delaware 0 6986473 0 21 6986473 67.2 % 13/02/2020
CR Group L.P. Delaware 0 6986473 0 0 6986473 67.2 % 13/02/2020
Hood River Capital Management LLC 46-1294859 Delaware 0 0 0 0 0 0 % 13/02/2020
Heights Capital Management, Inc. Delaware 0 179397 0 179397 179397 4.9 % 10/02/2020
CVI Investments, Inc. Cayman Islands 0 179397 0 179397 179397 4.9 % 10/02/2020
Hudson Bay Capital Management LP Delaware 0 446555 0 0 446555 9.99 % 07/02/2020
Sander Gerber Delaware 0 446555 0 0 446555 9.99 % 07/02/2020
Heights Capital Management, Inc. Delaware 0 247244 0 247244 247244 9.9 % 02/12/2019
CVI Investments, Inc. Cayman Islands 0 247244 0 247244 247244 9.9 % 02/12/2019
Nantahala Capital Management, LLC MA 0 0 0 0 0 0 % 10/09/2019
Dan Mack MA 0 6581465 0 0 6581465 14.2 % 01/08/2019
Wilmot B. Harkey MA 0 6581465 0 0 6581465 14.2 % 01/08/2019
Nantahala Capital Management, LLC MA 0 6581465 0 0 6581465 14.2 % 01/08/2019
Wilmot B. Harkey United States 0 6581465 0 6581465 6581465 14.2 % 03/05/2019
Nantahala Capital Management, LLC Massachusetts 0 6581465 0 6581465 6581465 14.2 % 03/05/2019
Daniel Mack United States 0 6581465 0 6581465 6581465 14.2 % 03/05/2019
UBS Group AG directly and on behalf of certain subsidiaries Switzerland 0 2333650 0 2333650 2333650 5.2 % 14/02/2019
Dan Mack MA 0 6581465 0 0 6581465 14.7 % 14/02/2019
Nantahala Capital Management, LLC MA 0 6581465 0 0 6581465 14.7 % 14/02/2019
Wilmot B. Harkey MA 0 6581465 0 0 6581465 14.7 % 14/02/2019
Hood River Capital Management LLC 46-1294859 Delaware 0 0 3337811 0 3337811 7.44 % 13/02/2019
Craig Drill Capital, L.L.C. United States of America 0 2117550 0 2117550 2117550 4.7 % 30/01/2019
Craig Drill Capital Corporation United States of America 0 2117550 0 2117550 2117550 4.7 % 30/01/2019
Craig A. Drill United States of America 0 2117550 0 2117550 2117550 4.7 % 30/01/2019
Craig Drill Capital Corporation United States of America 0 1904425 0 1904425 1904425 6 % 23/08/2018
Craig Drill Capital, L.L.C. United States of America 0 1904425 0 1904425 1904425 6 % 23/08/2018
Craig A. Drill United States of America 0 1904425 0 1904425 1904425 6 % 23/08/2018
Wilmot B. Harkey MA 0 3307431 0 0 3307431 10.6 % 11/06/2018
Nantahala Capital Management, LLC MA 0 3307431 0 0 3307431 10.6 % 11/06/2018
Dan Mack MA 0 3307431 0 0 3307431 10.6 % 11/06/2018
RTW INVESTMENTS, LP OR PLACE OF ORGANIZATION 0 1672998 0 1672998 1672998 8.61 % 14/02/2018
RTW MASTER FUND, LTD. OR PLACE OF ORGANIZATION 0 1585583 0 1585583 1585583 8.16 % 14/02/2018
Roderick Wong OR PLACE OF ORGANIZATION 0 1672998 0 1672998 1672998 8.61 % 14/02/2018
Craig Drill Capital, L.L.C. United States of America 0 0 0 0 0 0 % 05/02/2018
Craig A. Drill United States of America 0 0 0 0 0 0 % 05/02/2018
Craig Drill Capital, L.L.C. United States of America 0 1220100 0 1220100 1220100 6.31 % 04/04/2017
Craig A. Drill United States of America 0 1220100 0 1220100 1220100 6.31 % 04/04/2017
RTW INVESTMENTS, LP Delaware United States America 0 839666 0 839666 839666 7.9 % 15/02/2017
Laurence W.Lytton USA 492292 0 492292 0 492292 4.6 % 13/02/2017
Laurence W.Lytton USA 600000 0 600000 0 600000 5.9 % 23/06/2016
Roderick Wong OR PLACE OF ORGANIZATION 0 4753806 0 4753806 4753806 9.2 % 09/02/2016
RTW INVESTMENTS, LLC OR PLACE OF ORGANIZATION 0 4753806 0 4753806 4753806 9.2 % 09/02/2016
RTW MASTER FUND, LTD. OR PLACE OF ORGANIZATION 0 4753806 0 4753806 4753806 9.2 % 09/02/2016
Gates Capital Management, Inc. Liechtenstein 740444 0 740444 0 1936584 10.9 % 03/02/2016
RTW INVESTMENTS, LLC Delaware, USA 0 3591378 0 3591378 3591378 7.7 % 02/10/2015
13G United States 0 2702702 0 2702702 2702702 5.32 % 21/05/2015
13G United States 0 2702702 0 2702702 2702702 5.32 % 21/05/2015
13G United States 0 2702702 0 2702702 2702702 5.32 % 21/05/2015
13G United States 0 2702702 0 2702702 2702702 5.32 % 21/05/2015
13G United States 0 2702702 0 2702702 2702702 5.32 % 21/05/2015
Itaú Unibanco Holding S.A. Cayman Islands 432873 0 432873 0 638826855128 65.62 % 14/01/2015
Brigitte Smith Australia 194221 3598807 194221 0 3793028 21.1 % 03/10/2014
GBS Venture Partners Limited Australia 0 3598807 0 0 3598807 20 % 03/10/2014
GBS BioVentures III Australia 0 3598807 0 0 3598807 20 % 03/10/2014
GRQ Consultants, Inc. 401K United States 0 4166667 0 4166667 4166667 2.6 % 27/09/2013
Barry Honig United States 6666667 4166667 6666667 4166667 10833334 6.7 % 27/09/2013
Barry Honig United States 6469467 6469467 6469467 6469467 6469467 9.99 % 25/03/2013
GRQ Consultants, Inc. 401K Plan United States 0 6469467 0 6469467 6469467 9.99 % 25/03/2013
Alpha Capital Anstalt Liechtenstein 6336267 0 6336267 0 6336267 9.99 % 15/03/2013
Scudder Kemper Investments, Inc. Delaware 358700 374600 961000 0 961000 11 % 12/02/1998
39-6006423 Madison, Wisconsin 279900 0 279900 0 279900 1.76 % 06/02/1996

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District